Deputy Chief Compliance Officer
The COR Clearing Compliance Department’s primary goal is to meet the regulatory and compliance needs of the Firm, continuously striving for efficiency and effectiveness. The Compliance Department undertakes periodic audits; provides training; maintains registrations; responds to complaints, handle privacy breaches and regulatory requests and is the principal interface for the firm during regulatory exams. In addition, a few of the Compliance Department’s responsibilities include FINRA 3110 Supervision and Supervisory Control and FINRA 4311 Clearing Firm Notification to IBD of Reports, reviewing employee trading, and responsible for Blue Sheet reporting.
The Deputy Chief Compliance Officer will report to the Chief Compliance Officer. This position requires familiarity with FINRA and SEC rules and regulations regarding Broker/Dealers and Registered Investment Advisors. The Deputy CCO is responsible for handling the day-to-day compliance activities, work closely with Senior Management, Operations, and IT on projects and issues. This person needs to be able to work independently, have attention to detail, be familiar with the firm’s WSPs, policies and procedures.
· Monitor reports of various activities with IBDs, RIAs and COR.
· Assist with regulatory exams and requests.
· Oversight of various compliance duties.
· Ensure compliance with firm projects.
· Monitor and implement SEC and FINRA rule changes.
· Assist in maintaining current Books and Records.
· Establish and maintain a monitoring system regarding Direct Accounts.
· Primary liaison to correspondent brokerage firms to advise of compliance issues.
· Assist with Firm CE training.
· Provide back support to CCO and other compliance team members as needed.
· Assist in updating WSPs, Policies, Programs and Procedures.
Desired Skills and Experience
· Broad knowledge of FINRA and SEC rules and regulations.
· In-depth knowledge of securities products and industry customs
· Minimum of (5) years of prior securities industry experience. Preferably (2) of the years
being in compliance.
· Portfolio Management knowledge
· Excellent organizational and time management skills
· Strong problem solving skills
|Date Posted||September 7, 2017|
|Date Closes||October 7, 2017|
|Address||1299 Farnam Street|
|Located In||Omaha, NE|
|Work At||The Landmark Building|
|Job Type||Full-time Employee|
|Compensation||Salary, Based on Experience|
|Experience Level||Intermediate (3-7 yrs. experience)|
|SOC Category||11-9199.02 Compliance Managers|
|Address||1299 Farnam Street, Suite 800|
|City, State and Zip||Omaha, NE 68102|
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